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Guidance

Indicative sanctions

The Gambling Commission's guidance on Indicative Sanctions.

Published
10 July 2025

Last updated
10 July 2025 - Changes

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Contents

1 - Introduction

Upcoming changes Following the 2023 Consultation on proposed changes related to financial penalties, this guidance will be updated on 10 October 2025. Information about the updates is provided within the consultation response (opens in new tab).

1.1. This document sets out how the Regulatory Panel or employees of the Gambling Commission acting under delegated powers (decision makers) will approach the matter of regulatory sanctions following a licence review under section 116 of the Gambling Act 2005 (a licence review). It sets out a framework of matters that are relevant to decisions as to whether the Commission should exercise its powers of regulatory enforcement, and if so, what the appropriate sanction might be.

1.2. It is important to remember that a licence review may be commenced for a variety of reasons.

The Commission may in relation to operating licences of a particular description review the manner in which licensees carry on licensed activities, and in particular, arrangements made by licensees to ensure compliance with conditions attached under section 75, 77 or 78 (see section 116(1)).

The Commission may review any matter connected with the provision of facilities for gambling as authorised by an operating licence if the Commission:

  • has reason to suspect that activities may have been carried on in purported reliance on the licence but not in accordance with a condition of the licence (see section 116(2)(a))
  • believes that the licensee, or a person who exercises a function in connection with or is interested in the licensed activities, has acquired a conviction of a kind mentioned in section 71(1) (see section 116(2)(b)
    • - for any reason
    1. suspects that the licensee may be unsuitable to carry on the licensed activities (see section 116(2)(c)(i))
    2. thinks that a review would be appropriate (see section 116(2)(c)(ii)).

This guidance is about sanctions. It will therefore be relevant to licence reviews commenced because of concerns about non-compliance with a licence condition, or a person’s conviction or concerns about suitability.

1.3 Any decision as to imposing a sanction is an administrative decision which must be taken in accordance with the framework set out in the Gambling Act 2005, the Gambling Commission’s principle and policy documents, and the principles of fairness and natural justice. This guidance is intended to assist decision makers to make fair, consistent, and transparent decisions.

1.4 The Commission exercises its functions in the interests of consumers and the wider public. Decisions must be made openly, impartially, with sound judgment, and with justifiable reasons. This means that decision makers must:

  • come to the decisions they make with an open mind and demonstrate they are open minded
  • make a decision only after due consideration of all information reasonably required upon which to base such a decision
  • seek further information if it is felt they consider there is insufficient information to reach a decision.

1.5 It is important that decision makers have not already taken a firm view on a matter, nor that they give the appearance of having made up their mind before the formal consideration of a matter. However, a decision maker will not be considered to have taken a firm view on a matter by:

  • just listening to viewpoints from interested parties
  • having prior knowledge of the issues
  • making comments, or giving a provisional view, provided that it is clear that the issue has not been prejudged
  • seeking information through appropriate channels
  • asking questions at a hearing which reflect issues raised.

1.6 If a decision maker has any concerns about procedural fairness then they should seek advice from the Commission’s legal advisers.

1.7 This guidance has been prepared in accordance with the requirements of the Act and the Commission has also had regard to the:

  • Statement of Principles for Licensing and Regulation1
  • Regulators’ Code2
  • report of the Hampton Review3
  • report of the Macrory Review4
  • Scottish Improving Regulation Report 20085
  • reports of the Regulatory Review Group in Scotland6
  • Hampton Implementation Review Report into the Gambling Commission7.

1.8 This guidance will be reviewed and updated from time to time when appropriate.

References

1 The Statement of Principles for Licensing and Regulation is available on the Commission’s website.

2 The Regulators’ Code (July 2013) which came into force in April 2014.

3 Reducing Administrative Burdens: Effective Inspection and Enforcement, Philip Hampton, March 2005.

4 Regulatory Justice: Making Sanctions Effective, Professor Richard B. Macrory, November 2006.

5 The Scottish Improving Regulation Report 2008, July 2008.

6 Interim Report from the Regulatory Review Group for the Scottish Group, February 2008; Regulatory Review Group Annual Report, July 2008.

7 Gambling Commission: A Hampton Implementation Review Report, April 2009.

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Deciding what to do at the conclusion of a licence review - Indicative sanctions
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